Transcript

Broker/Dealer Compliance Officer Roundtable

Full Transcript:

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Taken from the Web Program Broker/Dealer Regulation and Enforcement 2017 recorded October 2017 in New York.

Broker/Dealer Compliance Officer Roundtable [00:58:41]

Compliance Officers will review the challenges they face managing their compliance programs. They will discuss current regulatory issues and priorities and offer lessons learned from recent examinations and/or enforcement actions. Topics will include:

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